Implementation Arrangements of HaJia Railway Project Project Institutional and Implementation ArrangementsI. Project Administration MechanismsThis project follows the implementation arrangement model that has already been successfully used for the ShiZheng, NanGuang and GuiGuang railway projects.As with past World Bank financed railway projects, the Ministry of Railway s (MOR) through its Foreign Capital and Technical Import Center (FCTIC) will be responsible for: (i) overseeing the project implementation including monitoring, reporting, and compliance with safeguards; (ii) financial management of the World Bank loan, including disbursement and reporting; and (iii) all World Bank financed procurement with the support of an independent procurement company. FCTIC will provide implementation progress reports every half year. The World Bank will also supervise this project closely through half yearly supervision missions.The Ministry of Railways formed a Preparatory Group (PG) for the HaJia Passenger Dedicated Railway Line Company on September 4, 2009, staffed primarily by the Ministry of Railways’ regional Harbin Railway Administration. The Preparatory Group, led by the Harbin Railway Administration, is tasked with the day to day responsibility for the railway line construction. This includes the procurement, management and supervision of all contracts for non-World Bank funded civil works, installation of goods and equipment funded by the World Bank loan through contractors, coordination with the Heilongjiang provincial government and local government entities responsible for resettlement and land acquisition and transfer of funds to that end to local authorities, monitoring of project progress, as well as reporting to the Ministry of Railways on physical progress, safeguards and financial management.The Preparatory Group will manage the procurement of non-World Bank funded contracts using the well-defined standards and procedures established by the Ministry of Railways for the construction of such railway lines. Goods procured by FCTIC will be delivered to the Preparatory Group and its contractors for installation. For reporting, FCTIC will draw on inputs from the Preparatory Group.A project company, the HaJia Passenger Dedicated Railway Line Company (HRC), is expected to be formed for the construction and management of the line as a successor to the Preparatory Group. The controlling share of the company will be held through an investment arm by the Ministry of Railways. The other major shareholder is expected to be the Province of Heilongjiang through a provincial investment body. The percentage of shares will be provisionally defined based on the project cost estimates for constructionand land acquisition contributed by the Ministry of Railways and the Province respectively, and will be adjusted based on actual equity contributions.The establishment of such special purpose entities is common in the railway sector, where the Ministry of Railways oversees over 120 similar companies. Those companies strictly follow well-established technical standards and directives from the Ministry, which regulate the construction and management of such lines. The Ministry plays a control role in terms of planning, standards, management and acceptance of works. As per previous projects, some of the specific features of this joint venture are yet to be decided, including who will own the rolling stock, how it will be operated and how the interfaces will be managed. Once the HaJia Railway Company is formed, it is expected that, as in the past, staff from the Preparatory Group will be transferred to the new company, occupying similar roles and functions. The HRC will then take over all the Preparatory Group’s responsibilities. Because of this, all references in the World Bank’sproject-related documents to the Preparatory Group will become references to HRC upon its establishment.The Preparatory Group will monitor the implementation of safeguards with the support of independent environment and resettlement and land acquisition monitoring consultants. Land acquisition, resettlement and construction may commence shortly after appraisal. Though the procurement of the World Bank financed goods and equipment will not start until about two years after loan signing (the World Bank does not finance civil works), the World Bank’s task team will carry out supervision activities together with FCTIC to ensure that implementation proceeds in accordance with agreements reached during project preparation.As per other railway projects supported by the World Bank, the Ministry of Railways will continue to carry the legal responsibility for implementation, as the main shareholder in HRC, and provide additional support to HRC whenever needed. There is little risk to implementation even if construction starts before the specific company details are settled. When the project company is formed, the World Bank will confirm that the project company meets, at a minimum, the capacity of the Preparatory Group currently in place.Reporting: The Ministry of Railways will monitor and evaluate the progress of the project on a six-monthly basis. The Ministry, through FCTIC, will prepare by February 15 and August 15 of each year (starting August 15, 2011 and until completion of the project), a project progress report, reporting on the overall project progress, on any significant changes or challenges, and on performance indicators. The report will include as annexes the progress report for the Ministry of Railways prepared by the Preparatory Group, the environmental report and the resettlement report.II. Financial Management, Disbursements and Procurementa.Financial ManagementThe FM capacity assessment identified the following principal risk: the project financial staffs in the Preparatory Group are assigned from Harbin Railway Bureau, which has not managed World Bank- financed projects before.Mitigation measures agreed include: (a) World Bank loan proceeds will be exclusively managed by FCTIC who is familiar with World Bank operations; (b) a project Financial Management Manual (FMM) will be issued to standardize the FM and disbursement procedures; and (c) some training will be provided to the project financial staff in the Preparatory Group to furnish them the necessary knowledge in managing WorldBank-financed operations.The overall pre-mitigation FM risk has been assessed as “Moderate” andpost-mitigation has been assessed as “Low”.Budgeting: Counterpart funding represents the vast majority of project funding (over 95 percent). It consists of shareholders’ contributions and domestic loans. Shareholders’ contributions include funds from the Ministry of Railways as well as funds and land from the Heilongjiang provincial g overnment. The shareholders’ contributions will be reflected as equity contributions in the HaJia Railway Company upon its establishment. Domestic loans will be mobilized by the Finance Department of the Ministry of Railways. In accordance with the project implementation plan and construction progress, the Preparatory Group will prepare an annual investment budget. This budget will be reviewed and approved by the Ministry of Railways’ Finance Department and FCTIC. Based on the approved budget, the Preparatory Group and upon its incorporation the HaJia Railway Company will receive government appropriations and domestic loans mobilized by the Ministry of Railways. For budget variances arising during execution, necessary authorization and close monitoring should be by the company. Timely and accurate information on variances should be used as the basis for mid-term adjustments.Flow of Funds: The World Bank loan proceeds will flow from the World Bank into a project designated account to be set up at and managed by FCTIC. The loan proceeds will either be disbursed from the World Bank to contractors directly based on withdrawal applications, or through the designated account managed by FCTIC.Accounting and Financial Reporting: The administration, accounting and reporting of the project will be set up in accordance with Circular #13: “Accounting Regulations f or World Bank Financed Projects,” issued in January 2000 by the Ministry of Finance.Both FCTIC and the Preparatory Group will be managing, monitoring and maintaining respective project accounting records and retaining original supporting documents. The Preparatory Group will prepare the project financial statements on its implemented project activities, which will then be used by FCTIC for preparing consolidated project financial statements (following the format in accordance with the aforementioned Circular #13 agreed with the Ministry of Finance) for annual reporting. As part of the progress report, no later than 45 days following each calendar year semi-annual period (the due dates will be August 15th and February 15th), the FCTIC will prepare interimfinancial reports (IFRs) to report the usage of loan proceeds in the form and substance satisfactory to the World Bank.Internal Control: The policy, procedures and regulations applicable to the accounting of the project have already been issued and are in use by the Ministry of Finance and Ministry of Railways. In addition, a financial management manual used for all World Bank financed railway projects will be distributed to all project financial staff to enable alignment with the World Bank’s financial ma nagement and disbursement requirements. The Ministry of Railways has its own internal inspection division. This division will operate as the internal auditor for this project and will conduct compliance and transaction-oriented examinations on a regular basis.Audit: The Audit Service Center for Foreign Loan and Assistance Projects (ASC) of the China National Audit Office (CNAO) and the CNAO’s resident office in Harbin willaudit the project. One consolidated annual audit report, encompassing all project related activities, will be issued in the name of ASC and will be due to the World Bank within 6 months after the end of each calendar year.b. DisbursementsDisbursement Arrangements: Four disbursement methods will be available for the project: advance, reimbursement, direct payment and special commitment. Supporting documents required for the different disbursement methods will be documented in the Disbursement Letter issued by the World Bank. A designated account denominated in US dollar will be opened at a commercial World Bank acceptable to the World Bank and will be managed by FCTIC.The World Bank loan would be disbursed against eligible expenditures (including taxes) as in the following table.Table A: Disbursement ArrangementsofLoan(in2. Front-end Fee 0.75Total 300.00c.ProcurementThe overall project risk for procurement is assessed as moderate.The key issue and risk concerning procurement for implementation of the project is the possible influence of domestic procurement practice. In view of these risks, the followingactions will take place during implementation: (i) provision of training to FCTIC on procurement procedures of World Bank financed projects; (ii) where necessary, early procurement support missions by the World Bank’s procurement specialist; (iii) annual field procurement supervision missions to review procurement actions.General Procurement for the proposed project would be carried out in accordance with the World Bank’s "Guidelines: Procurement under IBRD Loans and IDA Credits" dated May 2004, revised in October 2006 and May 2010; and "Guidelines: Selection and Employment of Consultants by World Bank Borrowers" dated May 2004, revised in October 2006 and May 2010, and the provisions stipulated in the legal agreements. The various items under different expenditure categories are described in general below. For each contract to be financed by the Loan, the different procurement methods or consultant selection methods, the need for pre-qualification, estimated costs, prior review requirements, and time frame will be agreed between the Borrower and the World Bank in the Procurement Plan during appraisal. The Procurement Plan will be updated annually or as required to reflect the actual project implementation needs and improvement in institutional capacity.Only two types of procurement are foreseen:Procurement of Goods: Goods procured under this project will include: goods for the communication, signaling, and electrification system, operation and maintenance equipment, and rails, beams, bearings, and other materials required for the proposed HaJia Railway Project. The procurement will be undertaken using the World Bank’s Sample Bidding Documents for all International Competitive Bidding (ICB) and the Chinese Model Bidding Documents, agreed with or satisfactory to the World Bank, for all National Competitive Bidding.Selection of Consultants: Consultant services provided by firms and individuals for the project will be identified during implementation. An amount of US$300,000 is tentatively allocated to consultant services and an overseas training and study tour. Short lists of consultants for services estimated to cost less than US$300,000 or equivalent per contract may be composed entirely of national consultants in accordance with the provisions of paragraph 2.7 of the World Bank’s Consultant Guidelines. Select consultant services may be carried out by universities and government research institutions.Procurement Plan: FCTIC will develop a Procurement Plan for project implementation, which provides the basis for the procurement methods. This plan will be agreed between the Borrower and the Project Team at appraisal and will be available at FCTIC’s office. It will also be available in the project’s database and on the World Bank’s external website. The Procurement Plan will be updated in agreement with the Project Team annually or as required to reflect the actual project implementation needs and improvements in institutional capacity.Table B: Details of the Thresholds for Procurement Methods and Prior ReviewThresholds for Procurement MethodsGoods <=US$100,000 ShoppingConsultant Services<=US$200,000 CQS <=US$100,000 SSSThresholds for Prior ReviewGoods>=US$500,000The first NCB contract irrespective of contractsumPrior ReviewConsultant Services Consultant firm selection>=US$100,000Prior Review All SSS contracts (either firm or individual)Prior ReviewAll individual consultantselection >=US$50,000Prior ReviewNCB=National Competitive Bidding; CQS= Consultants’ Qualifications;SSS=Single Source Selection.III. Environmental and SocialEnvironmental Impacts: The project is anticipated to have positive benefits in terms of mobility and accessibility in the project region, facilitation of passenger and freight travel and regional economic and social development. Due to the large scale of civil works and project characteristics, the project has the potential to cause substantial social and environmental impacts, which have been thoroughly assessed and can be adequately avoided, minimized and/or mitigated with measures developed in the project Environmental Management Plan (EMP) and Resettlement Action Plan (RAP). Manageable adverse impacts are primarily related to: (i) crossing sensitive sites such as a water resource protection area; (ii) community impacts such as land acquisition and resettlement; (iii) noise, dust, soil erosion and social disturbance during construction; (iv) noise, safety issues and loss of community connectivity during operation.Social Impacts: The project resettlement planning indicates that the land acquisition and resettlement happens in six counties and districts in two municipalities. In total, an estimated 1,705 households with 6,927 persons will be relocated; 21,244 mu (1,416 ha) land will be permanently acquired; and 9,972 mu (665 ha) of land will be temporarily acquired for the project construction. An estimated total of 23 enterprises will be affected, as well as 11,879 persons.Project preparation has included a social assessment and indigenous population screening along the planned railway line. The reports concluded that, while there are nine villages with minority households or individuals, there is no minority village or community within the project corridor, which was defined as the area within five kilometer distance on either side of the railway. Based on the finding of the social assessment, OP 4.10 is not triggered.Due Diligence Review: The upgrade of the Harbin Rail Station is not part of the project but is related. The Task Team carried out a due diligence review on the corresponding resettlement. It is being upgraded since June 2010, will use 835 mu land, lead to the demolition of 14 enterprises and 33,508 square meters of houses. Among these impacts, only 83 mu land, 9 enterprises and 5500 square meter houses do not belong to the Ministry of Railways. The resettlement is being implemented according to Chinese regulations.Key Measures Taken by the Borrower to Address Safeguards IssuesThe Ministry of Railways has prepared an Environmental Impact Assessment (EIA), an Environmental Management Plan (EMP) and a Resettlement Action Plan (RAP) for the project. The EMP, IA and RAP meet the World Bank requirements of OP 4.01 and 4.12 respectively.Mitigation Measures: To address potential impacts, The Ministry of Railways has requested 3rd Railway Survey & Design Institute (TSDI), a Class A licensed EIA consultant in China, to prepare an Environmental Impact Assessment with guidance and advice from the World Bank’s environmental team. In summary, the Ministry implemented a three-fold approach to minimize environmental and social impacts:∙Avoidance: Alternative analysis has been carefully conducted to avoid the environmental and social sensitive areas to the extent possible, as one of the most important mitigation measures to minimize potential adverse environmental andsocial impact. The selected alignment led to reduced house and structuredemolition, especially in the urban areas, and has avoided a number of sensitivesites, including nature reserves and cultural heritage sites.∙Reduced footprint: The project has been designed with state-of-the art engineering. Bridges and tunnels will be constructed for more than 55 percent ofthe alignment (51 percent bridges, 4 percent tunnels). As such, it reduces theecological footprint and the need for land acquisition.Comprehensive mitigation. Detailed environmental design plans (green corridors and landscaping), environmental management plans, and resettlementaction plans have been prepared in order to minimize or compensate forunavoidable impacts from the project.Environmental Management Plan: A stand-alone Environmental Management Plan (EMP) has been developed based on the findings of the EIA report. The EMP detailed the environmental management and supervision organizations and responsibilities, mitigation measures, capacity training plan, monitoring plan, and budget estimates of EMP implementation. EMP measures to be implemented by the contractors will be incorporated into bidding documents and contracts to ensure effective implementation. EMP implementation will be managed by the Ministry of Railways (FCTIC) through the Preparatory Group. An environmental management unit will be established in the Preparatory Group with dedicated environmental staff. The contractors and supervision engineers will need to assign qualified environmental staff to their team to ensure effective implementation of the EMP.Resettlement Mitigation Measures: The scope of land acquisition has been minimized by using bridges and tunnels on more than 55 percent of the total railway length and by adjusting the alignment of the railway line to reduce housing and structure demolition, especially in the urban areas.Compensation and Restoration Measures: Compensation for permanently and temporarily acquired land will be conducted according to the provincial land regulation stated in the Resettlement Action Plan. All affected villages will lose less than five percent of farmland, which means no village is seriously affected by the projec t’s land acquisition. People who have lost rural land and houses will be compensated equivalent to the replacement price of the house plus a plot of land provided by the village committees, and people who lost an urban house will be compensated according to market value. Temporarily used land will be restored and returned to the land owner. All compensation will be based on agreements to be reached with the affected farmers, urban citizens and enterprise owners after meaningful consultation. Infrastructure restoration will be directly financed and conducted as part of a contractor’s contract.Capacity: The FCTIC has many years of experience with World Bank projects. The Preparatory Group and local governments will be trained to enhance their implementation capacity in accordance with the Environmental Management Plan and Resettlement Action Plan, which include detailed internal and external monitoring arrangements for their implementation. External consultants on environmental aspects and land acquisition will monitor the implementation of both these plans by all parties involved and provide guidance to the Preparatory Group accordingly.Consultation: During preparations the environmental assessment and Resettlement Action Plan (RAP), public consultations were conducted in accordance with the World Bank’s OP4.01 and OP4.12. These were supplemented by a combination of opinionsurveys and public meetings in the townships, village committee and affected villagers’ homes. Stakeholders such as local authorities, civil society, and the affected population were consulted through diverse ways like TV, newspaper, meetings, and focus groups on land acquisition matters. The local governments were consulted on the alignment and location of stations. All the affected villages are informed, investigated and consulted. Specific public concerns have been incorporated in project design, the Environmental Management Plan and the Resettlement Action Plan.Disclosure: The Environmental Management Plan and Resettlement Action Plan have been disclosed in accordance with the World Bank’s policy and were sent to the Infoshop on xx. Information related to the Environment Assessment has been disseminated using posters and bulletins in townships and villages, a local newspaper (Heilongjiang Daily) and through the internet. The draft Environmental Impact Assessment document was disclosed through the Heilongjiang, Harbin and Jiamusi Provincial Environmental Protection Bureaus (EPB) and the HaJia Railway Preparation Group on August 25, 2010 Information disclosure on project land acquisition and resettlement was distributed in the affected villages and communities during the resettlement impact investigation and planning process.Grievance Handling: A contact point will be set up to collect and respond to grievances and the contact information, including contact agencies, contact persons and telephone numbers, for this grievance channel will be made public prior to the project appraisal. The Resettlement Action Plan indicates that any grievance should be rapidly handled through the Preparatory Group resettlement management system, external monitor, local government system, or even court system.IV. Monitoring & EvaluationThe Ministry of Railways collects sufficient data to allow satisfactory monitoring and reporting of the outcomes and results of the project as part of its regular operations. FCTIC will compile data and include them in the semi-annual progress reports. The Preparatory Group will be tasked to collect relevant data to enable monitoring of these indicators. The cost of data collection, monitoring and evaluation will be covered by the administrative budget of the Ministry of Railways and the Preparatory Group. No additional budget is required.Since this is a new line, it is anticipated that most outcomes and results will only be measureable after the completion and commissioning of the project. During project implementation, progress monitoring will focus on intermediate result indicators which capture physical progress in the implementation of the project and impact of the program on employment.During project implementation, a set of indicators will be defined to measure the broader impact of the project on economic development in the first five years of implementation of the new line (2015-2020).。
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